Lorenzo v. SEC, the Glossary

Table of Contents

1. 36 relations: Administrative law judge, Brett Kavanaugh, Central Bank of Denver, N.A. v. First Interstate Bank of Denver, N.A., Certiorari, Circuit split, Clarence Thomas, Debenture, Deep pocket, Federal Reporter, Gabelli v. SEC, Janus Capital Group, Inc. v. First Derivative Traders, Lawyers' Edition, Lucia v. Securities and Exchange Commission, Neil Gorsuch, New York City, Private Securities Litigation Reform Act, Recusal, Scienter, Securities Act of 1933, Securities Exchange Act of 1934, Securities fraud, Solicitor General of the United States, Sri Srinivasan, Staten Island, Stephen Breyer, Stoneridge Investment Partners v. Scientific-Atlanta, Inc., Supreme Court of the United States, Thomas B. Griffith, U.S. Securities and Exchange Commission, United States Court of Appeals for the District of Columbia Circuit, United States Court of Appeals for the Eighth Circuit, United States Court of Appeals for the Eleventh Circuit, United States Court of Appeals for the Ninth Circuit, United States Court of Appeals for the Second Circuit, 2016 term opinions of the Supreme Court of the United States, 2018 term opinions of the Supreme Court of the United States.

2. U.S. Securities and Exchange Commission litigation
3. United States securities case law

Administrative law judge

An administrative law judge (ALJ) in the United States is a judge and trier of fact who both presides over trials and adjudicates claims or disputes involving administrative law.

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Brett Kavanaugh

Brett Michael Kavanaugh (born February 12, 1965) is an American lawyer and jurist serving as an associate justice of the Supreme Court of the United States.

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Central Bank of Denver, N.A. v. First Interstate Bank of Denver, N.A.

Central Bank of Denver v. First Interstate Bank of Denver, 511 U.S. 164 (1994), was a decision by the United States Supreme Court, which held private plaintiffs may not maintain aiding and abetting suits under Securities Exchange Act § 10(b). Lorenzo v. SEC and Central Bank of Denver, N.A. v. First Interstate Bank of Denver, N.A. are United States securities case law.

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Certiorari

In law, certiorari is a court process to seek judicial review of a decision of a lower court or government agency.

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Circuit split

In United States federal courts, a circuit split, also known as a split of authority or split in authority, occurs when two or more different circuit courts of appeals provide conflicting rulings on the same legal issue.

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Clarence Thomas

Clarence Thomas (born June 23, 1948) is an American lawyer and jurist who serves as an associate justice of the Supreme Court of the United States.

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Debenture

In corporate finance, a debenture is a medium- to long-term debt instrument used by large companies to borrow money, at a fixed rate of interest.

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Deep pocket

Deep pocket is an American slang term; it usually means "extensive financial wealth or resources".

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Federal Reporter

The Federal Reporter is a case law reporter in the United States that is published by West Publishing and a part of the National Reporter System.

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Gabelli v. SEC

Gabelli v. SEC, 568 U.S. 442 (2013), was a United States Supreme Court case in which the Court ruled that the statute of limitations for filing civil penalty actions initiates when the offending act is committed or finished. Lorenzo v. SEC and Gabelli v. SEC are U.S. Securities and Exchange Commission litigation and United States Supreme Court cases of the Roberts Court.

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Janus Capital Group, Inc. v. First Derivative Traders

Janus Capital Group, Inc. Lorenzo v. SEC and Janus Capital Group, Inc. v. First Derivative Traders are United States Supreme Court cases of the Roberts Court.

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Lawyers' Edition

The United States Supreme Court Reports, Lawyers' Edition, or Lawyers' Edition (L. Ed. and L. Ed. 2d in case citations), is an unofficial reporter of Supreme Court of the United States opinions.

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Lucia v. Securities and Exchange Commission

Lucia v. Securities and Exchange Commission, 585 U.S. 237 (2018), was a decision by the Supreme Court of the United States on the status of administrative law judges of the Securities and Exchange Commission. Lorenzo v. SEC and Lucia v. Securities and Exchange Commission are U.S. Securities and Exchange Commission litigation and United States Supreme Court cases of the Roberts Court.

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Neil Gorsuch

Neil McGill Gorsuch (born August 29, 1967) is an American jurist who serves as an associate justice of the Supreme Court of the United States.

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New York City

New York, often called New York City (to distinguish it from New York State) or NYC, is the most populous city in the United States.

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Private Securities Litigation Reform Act

The Private Securities Litigation Reform Act of 1995,, 109 Stat.

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Recusal

Recusal is the legal process by which a judge, juror, or other adjudicator steps aside from participating in a case due to potential bias, conflict of interest, or appearance of impropriety.

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Scienter

In law, scienter (Law Latin for "knowingly") is a legal term for intent or knowledge of wrongdoing.

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Securities Act of 1933

The Securities Act of 1933, also known as the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, and the '33 Act, was enacted by the United States Congress on May 27, 1933, during the Great Depression and after the stock market crash of 1929.

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Securities Exchange Act of 1934

The Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or 1934 Act) (codified at et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America.

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Securities fraud

Securities fraud, also known as stock fraud and investment fraud, is a deceptive practice in the stock or commodities markets that induces investors to make purchase or sale decisions on the basis of false information.

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Solicitor General of the United States

The Solicitor General of the United States (USSG or SG), the fourth-highest-ranking official within the United States Department of Justice, represents the federal government in cases before the Supreme Court of the United States.

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Sri Srinivasan

Padmanabhan Srikanth "Sri" Srinivasan (born February 23, 1967) is an Indian-born American lawyer and jurist serving as the chief judge of the U.S. Court of Appeals for the District of Columbia Circuit.

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Staten Island

Staten Island is the southernmost borough of New York City, coextensive with Richmond County and situated at the southernmost point of New York.

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Stephen Breyer

Stephen Gerald Breyer (born August 15, 1938) is an American lawyer and jurist who served as an associate justice of the U.S. Supreme Court from 1994 until his retirement in 2022.

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Stoneridge Investment Partners v. Scientific-Atlanta, Inc.

Stoneridge Investment Partners v. Scientific-Atlanta, 552 U.S. 148 (2008), was a decision by the United States Supreme Court pertaining to the scope of liability of secondary actors, such as lawyers and accountants, for securities fraud under the Securities Exchange Act of 1934. Lorenzo v. SEC and Stoneridge Investment Partners v. Scientific-Atlanta, Inc. are United States Supreme Court cases of the Roberts Court and United States securities case law.

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Supreme Court of the United States

The Supreme Court of the United States (SCOTUS) is the highest court in the federal judiciary of the United States.

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Thomas B. Griffith

Thomas Beall Griffith (born July 5, 1954) is an American lawyer and jurist who served as a U.S. circuit judge of the United States Court of Appeals for the District of Columbia Circuit from 2005 to 2020.

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U.S. Securities and Exchange Commission

The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street Crash of 1929.

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United States Court of Appeals for the District of Columbia Circuit

The United States Court of Appeals for the District of Columbia Circuit (in case citations, D.C. Cir.) is one of the thirteen United States Courts of Appeals.

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United States Court of Appeals for the Eighth Circuit

The United States Court of Appeals for the Eighth Circuit (in case citations, 8th Cir.) is a United States federal court with appellate jurisdiction over the following United States district courts.

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United States Court of Appeals for the Eleventh Circuit

The United States Court of Appeals for the Eleventh Circuit (in case citations, 11th Cir.) is a federal appellate court over the following U.S. district courts.

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United States Court of Appeals for the Ninth Circuit

The United States Court of Appeals for the Ninth Circuit (in case citations, 9th Cir.) is the U.S. federal court of appeals that has appellate jurisdiction over the U.S. district courts in the following federal judicial districts.

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United States Court of Appeals for the Second Circuit

The United States Court of Appeals for the Second Circuit (in case citations, 2d Cir.) is one of the thirteen United States Courts of Appeals.

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2016 term opinions of the Supreme Court of the United States

The 2016 term of the Supreme Court of the United States began October 3, 2016, and concluded October 1, 2017.

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2018 term opinions of the Supreme Court of the United States

The 2018 term of the Supreme Court of the United States began October 1, 2018, and concluded October 6, 2019.

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See also

U.S. Securities and Exchange Commission litigation

• 2023 Securities and Exchange Commission charges against the Church of Jesus Christ of Latter-day Saints and Ensign Peak Advisors
• Credit Suisse Securities (USA) LLC v. Billing
• Gabelli v. SEC
• Lorenzo v. SEC
• Lucia v. Securities and Exchange Commission
• North American Co. v. SEC
• SEC v. Chenery Corp. (1943)
• SEC v. Chenery Corp. (1947)
• SEC v. Rajaratnam
• SEC v. Ralston Purina Co.
• SEC v. Texas Gulf Sulphur Co.
• SEC v. W. J. Howey Co.

United States securities case law

• Ackley School District v. Hall
• Anderson County Commissioners v. Beal
• Basic Inc. v. Levinson
• Blue Chip Stamps v. Manor Drug Stores
• Carter v. Burr
• Central Bank of Denver, N.A. v. First Interstate Bank of Denver, N.A.
• Chiarella v. United States
• City of Quincy v. Jackson
• Credit Suisse Securities (USA) LLC v. Billing
• Cyan, Inc. v. Beaver County Employees Retirement Fund
• Dean Witter Reynolds Inc. v. Byrd
• Digital Realty Trust, Inc. v. Somers
• Dura Pharmaceuticals, Inc. v. Broudo
• Findlay v. McAllister
• First Options of Chicago, Inc. v. Kaplan
• Goldman Sachs Group, Inc. v. Arkansas Teacher Retirement System
• Hall v. Geiger-Jones Co.
• Halliburton Co. v. Erica P. John Fund, Inc.
• Liu v. Securities and Exchange Commission
• Looney v. District of Columbia
• Lorenzo v. SEC
• Matrixx Initiatives, Inc. v. Siracusano
• Merrill Lynch, Pierce, Fenner & Smith Inc. v. Manning
• Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Dabit
• Morrison v. National Australia Bank
• Rodriguez de Quijas v. Shearson/American Express Inc.
• SEC v. Chenery Corp. (1943)
• SEC v. Chenery Corp. (1947)
• SEC v. Ralston Purina Co.
• SEC v. Texas Gulf Sulphur Co.
• SEC v. W. J. Howey Co.
• Salman v. United States
• Shearson/American Express Inc. v. McMahon
• Silver v. New York Stock Exchange
• Smith v. Bolles
• Stoneridge Investment Partners v. Scientific-Atlanta, Inc.
• TSC Industries, Inc. v. Northway, Inc.
• Taylor v. Standard Gas & Electric Co.
• Tellabs, Inc. v. Makor Issues & Rights, Ltd.
• United States v. Crimmins
• United States v. O'Hagan
• Wharf (Holdings) Ltd. v. United International Holdings, Inc.
• Wilko v. Swan

References

[1] https://en.wikipedia.org/wiki/Lorenzo_v._SEC

Also known as Lorenzo v SEC.